Statement of Changes in Beneficial Ownership (4)
May 24 2021 - 4:26PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Stieber Jeffrey |
2. Issuer Name and Ticker or Trading Symbol
HYCROFT MINING HOLDING CORP
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HYMC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP Finance & Treasurer |
(Last)
(First)
(Middle)
C/O HYCROFT MINING HOLDING CORPORATION, 8181 EAST TUFTS AVENUE, SUITE 510 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/20/2021 |
(Street)
DENVER, CO 80237
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 5/20/2021 | | M | | 8183 | A | (1) | 8183 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 5/20/2021 | | M | | 8183 | | (2) | (2) | Class A Common Stock | 8183.0 | $0 | 0 (3) | D | |
Explanation of Responses: |
(1) | Restricted stock units ("RSUs") convert into HYMC Class A Common Stock (the "Common Stock") on a one-for-one basis. |
(2) | On February 20, 2019, $102,500 of RSUs were granted to Mr. Stieber which vest pro rata in equal installments on each of May 29, 2020, February 19, 2021 and February 18, 2022. The number of shares of Common Stock that the RSUs convert into is based upon the Common Stock price on each vesting date. Vested RSUs convert into Common Stock on each applicable vesting date, provided that, if on the applicable vesting date, the holder is prohibited from trading under HYMC's policies or pursuant to applicable securities laws, the conversion date will be the 2nd trading day after the date such prohibitions no longer apply. On May 20, 2021, the first tranche of RSUs converted into 3,309 shares of Common Stock and the second tranche converted into 4,874 shares of Common Stock. |
(3) | The number of RSUs remaining will be determined based upon the Common Stock price on February 18, 2022, the third tranche vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stieber Jeffrey C/O HYCROFT MINING HOLDING CORPORATION 8181 EAST TUFTS AVENUE, SUITE 510 DENVER, CO 80237 |
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| SVP Finance & Treasurer |
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Signatures
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Jeffrey Stieber | | 5/24/2021 |
**Signature of Reporting Person | Date |
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